Client forms
Complaints
D. W. Good Investment Co. Ltd. has procedures in place to handle any written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures, which we provide to new clients, clients who have filed a complaint and what we also make available here on our website.
The Client Complaint Information Form
We provide new clients and clients who complain with separate information called the Client Complaint Information Form (“CCIF”) that provides general information about their options for making a complaint.
How to File a Complaint
Clients wishing to complain to D. W. Good Investment Co. Ltd. may make their complaint to our head office by contacting the head office at 780-433-5449 and asking for the President, Dan Good. You may also wish to contact in writing or by email at:
- Mail: D. W. Good Investment Co. Ltd. Suite 256, Bonnie Doon Shopping Centre, 82 Ave & 83 Street, Edmonton, AB T6C 4E3
- Phone: (780) 433-5449
- Email: hello@dwgood.com
You can also contact any branch manager or investment advisor. All complaints are forwarded to qualified compliance or supervisory personnel to be handled. We encourage clients to make their complaint in writing or by email where possible. Where clients have difficulty putting their complaint in writing, they should advise us so that we can provide assistance. For confidentiality reasons, we will only deal with the client or another individual who has the client’s express written authorization to deal with us.
Complaint Handling Procedures
We will acknowledge receipt of complaints promptly, generally within five days. We review all complaints fairly, taking into account all relevant documents and statements obtained from the client, our records, our investment advisors, other staff members and any other relevant source. Once our review is complete we provide clients with our response, which will be in writing if the complaint was made in writing. Our response may be an offer to resolve your complaint, a denial of the complaint with reasons or another appropriate response. Where the complaint relates to certain serious allegations, our initial acknowledgment will include copies of this summary and the CCIF. Our response will summarize your complaint, our findings and will contain a reminder about your options with the Ombudsman for Banking Services and Investments. We will generally provide our response within ninety days, unless we are waiting for additional information from you, or the case is novel or very complicated. We will respond to communications you send us after the date of our response to the extent necessary to implement a resolution or to address any new issues or information you provide.
Settlements
If we offer you a financial settlement, we may ask you to sign a release and waiver for legal reasons.
Contacting D. W. Good Investment Co. Ltd.
Clients may contact us at any time to provide further information or to inquire as to the status of their complaint, by contacting the individual handling their complaint or by contacting the President, Dan Good.
File a Complaint with CIRO
To file a complaint with the Canadian Investment Regulatory Organization (CIRO) regarding an investment firm or advisor, submit a detailed written account via their secure online complaint form, by email, or mail. Before contacting CIRO, it is recommended to first complain directly to your advisor or their firm’s compliance department.
How to File a Complaint with the CIRO
- Online Form: Submit complaints through the CIRO website portal.
- Mail: Send a completed complaint form to: CIRO, 40 Temperance Street, Suite 2600, Toronto, ON M5H 0B4.
- Phone/Fax: Call 1-877-442-4322 or fax 1-888-497-6172.
- Email: Contact the Complaints & Inquiries Department at Info@ciro.ca